EM / FX Compliance VP

Full Time

International Banking Client

Office Status: Hybrid


The successful candidate will be responsible for supporting the compliance program for the Global Foreign Exchange (GFX) and Emerging Markets Debt (EM Debt) Latam businesses located in New York office. The GFX business is a global business trading FX Spot, FX Forwards and FX Options primarily in the G10 currencies with institutional clients. The EM Debt Latam business supports the firm’s corporate and institutional clients with trading and financing needs across fixed income, including flow credit, rates, foreign exchange and financing solutions. The successful candidate will work within Business Line Compliance to support these businesses by providing day-to-day Compliance support, guidance and advice, while performing key Compliance projects, monitoring and assessment responsibilities.

Your Key Responsibilities

  • Provide real-time advisory services to the GFX and Latam Emerging Markets businesses; identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to Business-owned policy or practices
  • Work within Compliance to perform trade or communications surveillance related analysis and/or investigations, and assist with any internal inquiries or investigations that may result; conduct ongoing compliance risk assessments and coordinate with business leads to identify and resolve control gaps
  • Evaluate and approve New Product Approval (NPA) and New Transaction Approval (NTA) requests from the business
  • Development of Compliance-related communications strategies and support for the dissemination of communications across the business; create, implement and maintain Compliance-owned policies and procedures
  • Conduct new hire and annual employee training on Compliance-related risks, controls, policies and procedures; assist with due diligence reviews, investigations, and audits as needed
  • Collaborate on projects with Global and Regional Compliance team members; represent Compliance on business working groups or infrastructure related operating committees; work closely with GFX / EM Debt business management, as well as other infrastructure areas such as AFC, Legal, Operations, Credit Risk and Technology.

Your Skills and Experience:

  • Minimum of a Bachelor’s Degree; Excellent communication and presentation skills (written and oral); Sufficient knowledge of Microsoft Excel and other office products
  • Moderate relevant experience within the Financial Services industry at a bank; consulting, accounting or law firm; federal regulator; self-regulatory organization (SRO); or otherwise in a relevant risk management function
  • Familiarity with Fixed Income (including FX, Credit and Rates) products or translatable subject matter expertise with demonstration of willingness and capability to learn these products and businesses
  • Knowledge of SEC and FINRA laws, rules and regulations as well as industry best practice, or translatable subject matter expertise with demonstration of willingness and capability to learn the relevant rules and best practices
  • Experience interacting with key stakeholders in a risk management and/or advisory capacity (e.g., with traders, sales staff and support personnel)
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